Privacy Policy

 

Sutton Wealth Advisors, Inc., (hereinafter referred to as “SWA”) in an investment advisor registered with the Securities and Exchange Commission. SWA is affiliated with an FINRA introducing broker-dealer firm, Purshe Kaplan Sterling Investments (hereinafter referred to as “PKS”).

In order to facilitate the servicing of our client’s accounts, SWA may receive nonpublic personal information about our clients from the following sources:

  • Information we receive from the client on applications, account opening documents or other forms;
  • Information about the client’s transactions with PKS or other firms;
  • Information SWA receives from a consumer reporting agency; and
  • From other sources with the client’s consent.

SWA does not disclose any nonpublic personal information about our clients to anyone, except as permitted by law. Such disclosure may include the following:

  • Affiliates, including affiliated service providers (for example, insurance agencies for processing of insurance applications on the client’s behalf);
  • Government agencies and law enforcement officials (for example, for tax reporting or under a court order); and
  • Other organizations, with the client’s consent (for example, the client’s accountant or attorney’s firm for tax preparation or estate planning).

SWA restricts access to personal and account information to those of its employees who need to know that information to provide products or services to the client. SWA maintains physical, electronic, and procedural safeguards to guard your nonpublic personal information. Removing client files, client lists, client related documents or electronic data concerning clients from the premises without management approval is strictly prohibited.

SWA will continue to adhere to these privacy policies and practices when a client decides to close an account or become an inactive customer.

The firm will hold an annual meeting with all staff to discuss the firm’s privacy policy. A copy of the current policy will be distributed to all employees during this meeting.

 

If you would be interested in receiving Sutton Wealth Advisors, Inc.’s Form ADV Part II, please contact our office or view on the website